CEO Michelle Jacko Selected as a Finalist for SDBJ’s Leaders in Law Awards
CEO Michelle Jacko has been selected as a finalist for the “Leaders in Law Awards 2020” by the San Diego Business Journal. Congratulations, Michelle!
CEO Michelle Jacko has been selected as a finalist for the “Leaders in Law Awards 2020” by the San Diego Business Journal. Congratulations, Michelle!
In a recent blog post, we discussed poignant areas for 2021, due to the fluidity and lessons learned this year. As we all know, 2020 has changed the mindset and strategies of all businesses and the team at Core Compliance … Read More
While past performance cannot guarantee comparable future results, the information the U.S. Securities and Exchange Commission’s Division of Enforcement just released in its annual report for its 2020 fiscal year is a must-read for trendspotters who want to know what … Read More
Core Compliance’s article, “How to Prepare for an SEC Cybersecurity Exam,” was published in the October 2020 edition of the National Society of Compliance Professionals’ Currents newsletter. The article discusses the steps your firm can take to prepare for and thrive during … Read More
On this month’s episode of the CCO Buzz, Core Compliance’s Managing Director of Consultation Services, Tina Mitchell, discusses Year-End Prep for Investment Advisers.
Since the onset of the coronavirus, we have heard health officials emphasize time and again that the three most important steps for personal hygiene are hand washing, mask-wearing, and social distancing. Now, given the increasing frequency of cyber-attacks against financial … Read More
November 12, 2020 @ 11:00 AM PST/2:00 PM EST | Speakers: Michelle L. Jacko and Robert Hille
CEO Michelle L. Jacko has been honored as a finalist for the “CEO of the Year Awards 2020” by the San Diego Business Journal.
In accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940 (the “Act”), as amended, an investment adviser (“RIA”) registered with the Securities and Exchange Commission (“SEC”) is required to conduct an annual compliance review to assess the adequacy … Read More
On October 8, 2020, the U.S. Securities and Exchange Commission released updated guidance to help clarify questions that have surfaced regarding the information on the firm and employee disciplinary history that must be disclosed on the client relationship summary (Form … Read More